Information processing system, control method therefor, image processing apparatus, control method therefor, and storage medium storing control program therefor

ABSTRACT

An information processing system that facilitates management of information security policy even for an extended application installed from exterior. A receiving unit receives security policy data in which a security policy is described. A management unit manages an extended application that can be added and deleted and that operates in an image processing apparatus. A notification unit notifies an administrator of error information about a security policy of an extended application managed by the management unit, when the extended application managed by the management unit does not comply with the security policy described in the security policy data, and when an identifier of an extended application that is extracted from the security policy data and that is excepted from applying the security policy does not match with the identifier of the extended application managed by the management unit.

BACKGROUND OF THE INVENTION

Field of the Invention

The present invention relates to an information processing system, acontrol method therefor, an image processing apparatus, a control methodtherefor, and a storage medium storing a control program therefor.Particularly, the present invention relates to aninformation-security-policy technique among apparatuses in a networkenvironment.

Description of the Related Art

A personal computer (PC) and a server machine (a file server, anauthentication server, etc.) that are connected to a network in anoffice are desirable to be operated according to an information securitypolicy established for every office. The information security policy isa basic policy about information security of the whole company, and isdecided by summarizing courses for controlling information use and forpreventing an intrusion and an information leak.

There are peripherals, such as a multifunctional peripheral device and aprinter, as apparatus connected to an office network in addition to a PCand a server machine. A multifunctional peripheral device in recentyears does not only print and send an image simply, but also storesimage data and gives a file service function to a PC, and it plays thesame role as another server machine on a network.

In order to maintain safe and secure office environment, amultifunctional peripheral device also needs to comply with theinformation security policy like a PC and a server machine. Thecompliance with the information security policy here means to put asecurity restriction on operations in order to prevent an unauthorizeduse of the multifunctional peripheral device in an office andinformation leak therefrom. For example, the multifunctional peripheraldevice obligatorily requires user authentication before an operation orencryption of a communication path.

In order to comply with the information security policy, a PC or aserver machine employs a method of distributing setting values thatdepend on an OS. For example, the setting values depending on the OSabout encryption of a communication path, such as “non-SSL connection ispermitted”, are managed so that a PC of any vender uniformly complieswith the information security policy.

On the other hand, since items settable to multifunctional peripheraldevices differ from vender to vender, an administrator must set themultifunctional peripheral devices so as to comply with the informationsecurity policy one by one based on the understanding of many operationsettings (referred to as “user modes”, hereafter) for the respectivemultifunctional peripheral devices. For example, the setting value ofthe user mode about the encryption of a communication path is “to useSSL” in a multifunctional peripheral device of an A-company, but is “toencrypt HTTP communication” in a multifunctional peripheral device of aB-company. Accordingly, since the administrator cannot makemultifunctional peripheral devices uniformly comply with the informationsecurity policy by distributing setting values, unlike a PC and a servermachine, the administrator expends much effort. Moreover, an incorrectsetting actually allows operations that do not comply with theinformation security policy, which may threaten office security.

Development environments and API (application programming interface) forsome models of recent multifunctional peripheral devices are exhibited.This enables what is called third-party vendors other than the vendorsthat design and produce the multifunctional peripheral devices to add afunction that operates inside a multifunctional peripheral device as anextended application. For example, even when the mechanisms of userauthentication differ from client to client, a third-party vendor cangenerate and supply an extended application corresponding to a client'srequest, which enables, to respond, to a detailed need of every client.Some of such extended applications have setting values about security,and therefore, operations in compliance with the information securitypolicy are desired.

Accordingly, a system that generates and distributes user modes ofmultifunctional peripheral devices when an administrator inputsaccording to an information security policy is proposed (for example,see Japanese Laid-Open Patent Publication (Kokai) No. 2008-219419 (JP2008-219419A)). In this system, the administrator answers to questionsdisplayed on a setting screen of a PC according to the informationsecurity policy. When receiving the answer, the PC generates a settingvalue (referred to as “security policy data”, hereafter) that does notdepend on a multifunctional peripheral device based on the answer, andconverts the generated security policy data into a user mode dependingon the multifunctional peripheral device of a distribution destination.Then, the administrator can achieve the state in compliance with theinformation security policy by distributing the user mode to therespective multifunctional peripheral devices from the PC without havingknowledge about the multifunctional peripheral devices, even if the usermodes of the multifunctional peripheral devices differ.

Moreover, a mechanism that an information-security-policy change isnotified by an OS of a personal computer to reflect a policy to anextended application is proposed (for example, see Japanese Patent No.4676744). According to this mechanism, a module that manages theinformation security policy distributes the information security policyto each security engine (for example, a firewall and virus detectionsoftware) when receiving the information security policy. A securityengine collects information from other security engines using an API(Application Program Interface) in the state where the informationsecurity policy has been distributed. Each security engine decides anoperation based on setting states of other security engines.

In contrast to the above-mentioned prior art, a system that can change auser mode while maintaining a state in compliance with an informationsecurity policy may be desirable. For example, the multifunctionalperipheral device shall support options “to use SSL” and “to use IPSEC”in the information security policy that obligatorily requires encryptionof a communication path, and the state in compliance with theinformation security policy shall be achieved when enabling one of theoptions.

In a conventional system, when the setting value that enables the option“to use SSL” is distributed, a user cannot enable the option “to usesIPSEC” personally even if wanted. When the user wants to enable theoption “to uses IPSEC”, the user must request re-distribution of theuser mode in compliance with the information security policy from anadministrator, which loses convenience.

Moreover, the conventional system does not provide a mechanism thatgives the system explicit instructions (for example, sessiondisconnection, logout of the user concerned, system reboot, etc.) afterdistributing information security policies to extended applications.Accordingly, the conventional system always requires system reboot afterdistribution. For example, although the system reboot of a general PConly affects on a user who uses the PC concerned, the system reboot of amultifunctional peripheral device causes device unavailable time (whatis called downtime) that affects on a plurality of users, because themultifunctional peripheral device is shared by the users and processes aplurality of jobs simultaneously. Also in order to minimize suchdowntime, there is a demand to avoid the system reboot as possible.

SUMMARY OF THE INVENTION

The present invention provides a control technique that facilitatesmanagement of an information security policy even for an extendedapplication installed into an image processing apparatus from theexterior.

Accordingly, a first aspect of the present invention provides aninformation processing system comprises a receiving unit configured toreceive security policy data in which a security policy is described, amanagement unit configured to manage an extended application that can beadded and deleted and that operates in an image processing apparatus,and a notification unit configured to notify an administrator of errorinformation about a security policy of an extended application managedby the management unit, when the extended application managed by themanagement unit does not comply with the security policy described inthe security policy data, and when an identifier of an extendedapplication that is extracted from the security policy data and that isexcepted from applying the security policy does not match with theidentifier of the extended application managed by the management unit.

Accordingly, a second aspect of the present invention provides a controlmethod for an image processing apparatus comprises receiving securitypolicy data in which a security policy is described, managing anextended application that can be added and deleted and that operates inthe image processing apparatus, and notifying an administrator of errorinformation about a security policy of an extended application managed,when the extended application managed does not comply with the securitypolicy described in the security policy data, and when an identifier ofan extended application that is extracted from the security policy dataand that is excepted from applying the security policy does not matchwith the identifier of the extended application managed.

Accordingly, a third aspect of the present invention provides anon-transitory computer-readable storage medium storing a controlprogram causing an image processing apparatus and an informationprocessing apparatus to execute the control method of the second aspect.

According to the present invention, the management of the informationsecurity policy becomes easy even for the extended application installedinto the image processing apparatus from the exterior.

Further features of the present invention will become apparent from thefollowing description of exemplary embodiments with reference to theattached drawings.

BRIEF DESCRIPTION OF THE DRAWINGS

FIG. 1 is a block diagram schematically showing hardware configurationsof devices that configure an information processing system according toa first embodiment of the present invention.

FIG. 2A is a block diagram schematically showing a configuration offunctions relevant to control of an information security policy in amultifunctional peripheral device shown in FIG. 1, and FIG. 2B is ablock diagram schematically showing a configuration of functionsrelevant to control of the information security policy in a PC shown inFIG. 1.

FIG. 3 is a view showing an example of a policy setting screen displayedon an operation-display unit of the PC shown in FIG. 1.

FIG. 4A is a view showing an example of security policy data stored inthe PC shown in FIG. 1, FIG. 4B is a view showing an example of aconversion rule file stored in the multifunctional peripheral deviceshown in FIG. 1, and FIG. 4C is a view showing an example ofintermediate information stored in the multifunctional peripheral deviceshown in FIG. 1.

FIG. 5 is a flowchart showing an information security policy conversionprocess executed by the multifunctional peripheral device shown in FIG.1.

FIG. 6 is a flowchart showing an information security policy applicationprocess executed by the multifunctional peripheral device shown in FIG.1.

FIG. 7A is a view showing examples of names and values of user modesthat are stored in a user mode storing module of the multifunctionalperipheral device shown in FIG. 1, and FIG. 7B is a view showing anexample of screen control information stored in the multifunctionalperipheral device shown in FIG. 1.

FIG. 8A and FIG. 8B are views showing examples of display screens bywhich the PC shown in FIG. 1 attracts an administrator's attention.

FIG. 9 is a flowchart showing an error screen display process executedby the screen control module in the multifunctional peripheral deviceshown in FIG. 1.

FIG. 10 is a schematic view showing a configuration example of anextended application applied to the multifunctional peripheral deviceshown in FIG. 1.

FIG. 11 is a block diagram showing functions of APIs that exchangeinformation and instructions between the multifunctional peripheraldevice shown in FIG. 1 and the extended application.

FIG. 12 is a flowchart showing an operation of an extended applicationmanagement module shown in FIG. 2A.

FIG. 13 is a view showing an example of an extended applicationmanagement table managed by the extended application management moduleshown in FIG. 2A.

FIG. 14 is a flowchart showing an operation of a policy changenotification module shown in FIG. 2A.

FIG. 15A is a view showing an example of relation between an informationsecurity policy and a setting value, and FIG. 15B is a view showing anexample of table information for determining whether the change of thesetting value for the extended application requires system reboot.

FIG. 16 is a flowchart showing an operation of a policy enforcementmodule included in the extended application shown in FIG. 10.

FIG. 17 is a view showing an example of the security policy data writtenin an XML format.

FIG. 18 is a view showing an example of the contents of the conversionrule file written in the XML format.

FIG. 19 is a schematic view showing a configuration example of anextended application that does not recognize the information securitypolicy.

FIG. 20 is a flowchart showing an operation of a policy changenotification module according to a second embodiment of the presentinvention.

FIG. 21 is a view showing an example of a caution message displayed on aUI operation unit according to the process shown in FIG. 20.

FIG. 22A is a view showing a list of information security policy itemsunder the policy version V1.00, and FIG. 22B is a view showing a list ofinformation security policy items under the policy version V1.01.

FIG. 23 is a flowchart showing an operation of a policy changenotification module according to a third embodiment of the presentinvention.

FIG. 24 is a view showing an example of a caution message displayed onthe UI operation unit according to the process shown in FIG. 23.

FIG. 25 is a view showing an example of security policy data in a fourthembodiment of the present invention.

FIG. 26 is a flowchart showing an operation of a policy changenotification module according to the fourth embodiment.

FIG. 27 is a view showing an example of a UI screen, which showsinformation about an extended application, displayed on the UI operationunit according to the fourth embodiment.

FIG. 28 is a block diagram schematically showing functions of APIsaccording to a fifth embodiment of the present invention.

FIG. 29 is a flowchart showing an operation of a policy changenotification module according to the fifth embodiment.

DESCRIPTION OF THE EMBODIMENTS

Hereafter, embodiments according to the present invention will bedescribed in detail with reference to the drawings.

A first embodiment of the present invention will be described. FIG. 1 isa block diagram schematically showing hardware configurations of devicesthat configure an information processing system according to the firstembodiment of the present invention.

As shown in FIG. 1, the information processing system according to thefirst embodiment of the present invention is provided with amultifunctional peripheral device 101 as an example of an imageprocessing apparatus, a personal computer (PC) 201 as an example of aninformation processing apparatus, and a network 126 through which theyare mutually connected. It should be noted that the informationprocessing system of the present invention is not limited to theillustrated example, and that a plurality of apparatuses may beconnected to the network 126 in addition to the illustrated apparatuses.Moreover, an image processing apparatus (for example, a printer, ascanner, a personal digital assistant, etc.) other than themultifunctional peripheral device may be employed.

The multifunctional peripheral device 101 is provided with a networkcommunication unit 102, a UI operation unit 103, a CPU 104, a RAM 105, astorage unit 106, a print engine 107, and a scanner engine 108. Thenetwork communication unit 102 communicates with an external device (forexample, the PC 201) via the network 126. The UI operation unit 103receives setting to the multifunctional peripheral device 101, displaysthe state of the multifunctional peripheral device 101, and allows anoperation from a user. The CPU 104 processes print data and executesvarious controls. The RAM 105 temporarily stores a program code executedby the CPU 104 and information like image data. The storage unit 106stores the program code, image data, etc. The print engine 107 printsimage data on a sheet medium using known technique, such as anelectrophotographic technique or an ink jet technique. The scannerengine 108 optically reads an image printed on a sheet medium.

In the above-mentioned configuration, a copy function in themultifunctional peripheral device 101 is achieved as follows. That is,when a user operates the UI operation unit 103 to instruct a copyoperation, the CPU 104 makes the scanner engine 108 read image dataaccording to the program code stored in the RAM 105. The read image datais taken into the storage unit 106, and is outputted with the printengine 107 after applying a necessary image process.

Moreover, a PDF transmitting function is achieved as follows. That is,when a user operates the UI operation unit 103 to instruct a PDFtransmission, the CPU 104 makes the scanner engine 103 read image dataaccording to the program code stored in the RAM 105. The read image datais taken into the storage unit 106, is converted into the PDF format,and is transmitted from the network communication unit 102 to aspecified destination.

The PC 201 is provided with a network communication unit 202, a CPU 203,a RAM 204, a storage unit 205, and an operation-display unit 206. Thenetwork communication unit 202 communicates with an external device viathe network 126. The CPU 203 executes various controls. The RAM 204temporarily stores information like a program code executed by the CPU203. The storage unit 205 stores the program code, data, etc. Theoperation-display unit 206 receives an input to the PC 201 by anadministrator. The operation-display unit 206 functions as an operationunit and a display unit.

FIG. 2A is a block diagram schematically showing a configuration offunctions relevant to control of an information, security policy in themultifunctional peripheral device 101 shown in FIG. 1, and FIG. 2B is ablock diagram schematically showing a configuration of functionsrelevant to control of the information security policy in the PC 201shown in FIG. 1. Although this embodiment is described as theillustrated functions are configured by the software modules, they maybe configured by hardware components.

In FIG. 2A, a user mode storing module 114 stores names and values ofsetting items (referred to as “user modes”, hereafter) in connectionwith operations of the multifunctional peripheral device 101 that wereset through the UI operation unit 103 into the storage unit 106.

The user mode setting items includes “PDF with compulsory digitalsignature” and “PDF with compulsory hash”, for example.

The “PDF with compulsory digital signature” is a setting item of afunction for verifying that a file creator is a signer by adding anelectronic signature to a file. The electronic signature is obtained byenciphering a hash value with a file creator's secret key. The hashvalue is compulsorily computed by the multifunctional peripheral device101 based on a PDF file when generating the PDF file. When the user modesetting item “PDF with compulsory digital signature” is valid,falsification of a generated file can be detected.

The “PDF with compulsory hash” is a setting item of a function forenabling file falsification detection by adding a hash value to a file.The hash value is compulsorily computed based on a PDF file whengenerating the PDF file.

Moreover, “FTP”, “SFTP”, etc. are examples of the user mode settingitems. The FTP is the abbreviated name for File Transfer Protocol, andis a communication protocol for file transfer in a network. The SFTP isthe abbreviated name for SSH File Transfer Protocol, and is acommunication protocol for file transfer in a network using encryptioncommunication. When the user mode setting item “FTP” or “SFTP” is valid,the function for transmitting a file stored in the storage unit 106using the FTP or the SFTP is available.

A policy storing module 110 stores security policy data sent from theoutside via the network communication unit 102 into the storage unit 106etc. A conversion rule storing module 112 stores a conversion rule fileinto the storage unit 106 etc. In the conversion rule file, informationrequired in order to compare the security policy data with the values ofthe current user modes of the multifunctional peripheral device 101 iswritten. Details of the conversion rule file will be mentioned later.

A policy conversion module 111 generates intermediate information usedfor comparing the security policy data with the values of the user modesbased on the conversion rule file stored in the conversion rule storingmodule 112. An intermediate information storing module 115 isconstituted by a nonvolatile storage unit, and stores the intermediateinformation generated by the policy conversion module 112.

A policy verification module 109 compares the intermediate informationstored in the intermediate information storing module 115 with thevalues of the user modes stored in the user mode storing module 114, anddetermines according to the conditions written in the conversion rulefile. When the determination result does not satisfy the conditions, thepolicy verification module 109 generates screen control information.

A screen control information storing module 116 stores the screencontrol information generated by the policy verification module 109 intothe storage unit 106 etc.

In addition to the above functions, the policy verification module 109controls operations of various applications of the multifunctionalperipheral device 101. The multifunctional peripheral device 101 has thevarious applications (not shown) for providing a transmission function,a printing function, a file server function, etc. The policyverification module 109 controls the various applications so as tooperate restrictively according to the information security policy, orprohibits starting of an application that does not comply with theinformation security policy.

The multifunctional peripheral device 101 has a send module (not shown)that controls the scanner engine 108 to read an original optically,files the obtained image data into an electronic file, and sends thefile to a specified destination.

Moreover, the multifunctional peripheral device 101 has a module thatinterprets and prints a PDL code received via the network from the PC201 or another device. Moreover, the multifunctional peripheral device101 has a BOX module that accumulates image data in the storage unit106. Furthermore, the multifunctional peripheral device 101 has a Webbrowser module that reads and displays information on various websiteson the Internet or an intranet using the HTTP or HTTPS. The policyverification module 109 determines whether these applications complywith the information security policy. When it is determined that anapplication does not comply with the information security policy, screencontrol information will be generated or starting of the applicationconcerned will be restricted.

An application that is dynamically added to the multifunctionalperipheral device 101 and is deleted therefrom is also controlled by thepolicy verification module 109. For example, MEAP (registered trademark,Multi-functional Embedded Application Platform) is a commercial productthat can dynamically add and delete a built-in application by installingexecution environment of Java (registered trademark) into themultifunctional peripheral device 101.

Moreover, when the vender of the MEAP discloses an API (applicationplatform interface) of the MEAP to other venders, a third-party vendercan create an application. Hereafter, such an application is called anextended application.

An extended application management module 118 manages and operates aplurality of extended applications of the multifunctional peripheraldevice 101.

When detecting a change of the information security policy, a policychange notification module 119 notifies the extended applicationsmanaged by the extended application management module 118 of the change.

A policy inquiry module 120 receives an inquiry of the setting value ofthe information security policy from an extended application.

A system action directive module 121 receives an instruction forrebooting the multifunctional peripheral device 101 from an extendedapplication.

A policy receiving module 117 stores the security policy data that thenetwork communication unit 102 received into the policy storing module110. A screen control module 113 controls a screen using the screencontrol information stored in the screen control information storingmodule 116.

In FIG. 2B, a policy generation module 207 generates the security policydata according to an administrator's input. A policy transmitting module208 transmits the security policy data generated by the policygeneration module 207 via the network 126 from the network communicationunit 202.

Next, three stages of an information-security-policy control methodaccording to the present invention will be described.

In the first stage, an administrator generates information securitypolicy data that sets the multifunctional peripheral device 101 so as tocomply with the information security policy using the PC 201.

In the second stage, the generated security policy data is transmittedto the multifunctional peripheral device 101 from the PC 201, and isapplied to the multifunctional peripheral device 101. It is determinedwhether the multifunctional peripheral device 101 is set in the state incompliance with the information security policy, and the administratoris notified of the determination result.

In the third stage, the multifunctional peripheral device 101 to whichthe security policy data is applied is used by a user in the state incompliance with the information security policy.

First, a process of the first stage in which the administrator generatesinformation security policy data that sets the multifunctionalperipheral device 101 so as to comply with the information securitypolicy using the PC 201 will be described.

FIG. 3 is a view showing an example of a policy setting screen displayedon the operation-display unit 206 of the PC 201 for generating securitypolicy data. It should be noted that this embodiment describes onlycases of setting three information security policies (file falsificationdetection, file transmission method, and HDD data deletion) in order tosimplify a description, but more information security policies may beset actually. Moreover, although only a case where a value of eachinformation security policy is selected using a radio button isdescribed, a value may be specified according to a text inputted in atext field or may be selected from among a plurality of choices usingcheck boxes.

As shown in FIG. 3, the policy setting screen 301 is a setting screenfor setting three information security policies that are “filefalsification detection” 302, “file transmission method” 303, and “HDDdata deletion” 304.

The “file falsification detection” 302 is an information security policythat shows whether the falsification detection is required for agenerated file. In this embodiment, the information security policy canbe selected from among three choices that are “to use method withhighest security level”, “any one is valid”, and “no informationsecurity policy”. The illustrated example shows the state where the “anyone is valid” is selected.

The “file transmission method” 303 is an information security policythat shows whether it is necessary to use encryption communication whentransmitting and receiving a file. In this embodiment, the informationsecurity policy can be selected from among two choices that are “OK inencryption communication” and “no security policy”. The illustratedexample shows the state where the “no security policy” is selected.

The “HDD data deletion” 304 is an information security policy that showswhether the data remaining after processing should be deleted, when anonvolatile storage unit (not shown) is used as a temporary data storagearea in a copying process etc. in the multifunctional peripheral device101. In this embodiment, the information security policy can be selectedfrom among two choices that are “deletion” and “no security policy”. Theillustrated example shows the state where the “deletion” is selected.

The administrator sets the information security policies using thepolicy setting screen 301. When the operation-display unit 206 receivesa depression of an “OK” button 305 in the policy setting screen 301, thepolicy generation module 207 generates the security policy dataaccording to the contents set on the policy setting screen 301, andstores it to the storage unit 205. An example showing the securitypolicy data stored in the storage unit 205 in a table format is shown inFIG. 4A. It should be noted that this embodiment shows the securitypolicy data in the table format in order to simplify the description,but it may be shown in data format of an XML etc. FIG. 17 shows thesecurity policy data shown in FIG. 4A in the XML format.

In the security policy data 401, the first row represents names (rules)402 of the information security policies set by the administrator on thepolicy setting screen 301. The second row represents values (conditions)403 of the respective information security policies selected by theadministrator on the policy setting screen 301.

Next, a process of the second stage will be described. In the secondstage, the generated security policy data is transmitted to themultifunctional peripheral device 101 from the PC 201, and is applied tothe multifunctional peripheral device 101. Then, it is determinedwhether the multifunctional peripheral device 101 is set in the state incompliance with the information security policy, and the administratoris notified of the determination result.

When receiving an instruction to transmit the security policy data fromthe administrator, the operation-display unit 206 instructs the policytransmitting module 208 to transmit the data. When receiving theinstruction, the policy transmitting module 208 transmits the securitypolicy data stored in the storage unit 205 from the networkcommunication unit 202 to the network communication unit 102 of themultifunctional peripheral device 101 via the network 126. It should benoted that the security policy data may be automatically distributedfrom the PC 201. Moreover, although the method of certifying that thedata is transmitted from the administrator or the specific computer isdesirable, this embodiment does not describe such a method.

FIG. 5 is a flowchart showing an information security policy conversionprocess executed when applying the security policy data to themultifunctional peripheral device 101. It should be noted that thisprocess shall be executed by the CPU 104 according to a program readfrom the storage unit 106 to the RAM 105 unless otherwise specified.

As shown in FIG. 5, when the network communication unit 102 receivessecurity policy data from the PC 201, the policy receiving module 117stores the security policy data into the policy storing module 110 instep S401.

In the next step S402, the policy conversion module 111 obtains theinformation security policy of the first line from the security policydata stored in the policy storing module 110. Then, the name and valueof the information security policy are extracted and stored in the RAM105.

In the next step S403, the policy conversion module 111 obtains aconversion rule file 501 (FIG. 4B) stored in the conversion rule storingmodule 112. Then, the names of the information security policies writtenin a rule section 502 of the obtained conversion rule file is comparedwith the name of the information security policy stored in the RAM 105.Then, it is determined whether there is any matched name based on thecomparative result. That is, it is determined whether the name of theinformation security policy extracted in the step S402 is included inthe name group of the information security policies of the conversionrule file 501 shown in FIG. 4B. An example showing the conversion rulefile stored in the conversion rule storing module 111 in the tableformat is shown in FIG. 4B. Although this embodiment describes theconversion rule file in the table format, it is not always expressed inthe table format as with the security policy data.

As shown in FIG. 4B, the conversion rule file 501 consists of a rulesection 502 and a condition section 503.

The names of the information security policies that can be described inthe security policy data are described in the second row of the rulesection 502. The names of the user modes corresponding to the names ofthe information security policies are described in the third row of therule section 502.

The names of the information security policies that can be described inthe security policy data are described in the second row of thecondition section 503. The values of the information security policiesthat can be set in the security policy data are described in the thirdrow of the condition section 503. The conditions for determining whetherthe settings of the user modes comply with the information securitypolicy are described in the last row of the condition section 503.

In this embodiment, although the conversion rule file 501 is describedas what is beforehand stored in the conversion rule storing module 112,it may be configured to receive from the outside (for example, the PC201) with the network communication unit 102 as with the security policydata. Moreover, the conversion rule file 501 may be distributed to thenetwork communication unit 102 and stored in the conversion rule storingmodule 112 by an administrator other than the administrator in aninformation system section who creates the security policy data, such asan apparatus manager.

As shown in FIG. 4B, the “file falsification detection” in the secondrow of the rule section 502 corresponds to the “PDF with compulsorydigital signature” and the “PDF with compulsory hash” among the usermodes of the multifunctional peripheral device 101. This is because themultifunctional peripheral device 101 has a function for adding a hashvalue (a digital signature obtained by enciphering a hash value in thecase of the “PDF with compulsory digital signature”) of a PDF filecompulsorily when generating a PDF file. These values determine whetherthe information security policy “file falsification detection” iscomplied or not.

Moreover, the “file transmission method” in the second row of the rulesection 502 shows that the “FTP” and the “SFTP” are supported among theuser modes of the multifunctional peripheral device 101. This provides afunction for selecting propriety of the use of FTP or SFTP as acommunication protocol that the multifunctional peripheral device 101can use, and it is determined based on these values whether theinformation security policy “file transmission method” is complied. Itshould be noted that FIG. 16 shows the conversion rule file 501 shown inFIG. 4B in the XML format.

When it is determined that the matched name exists in the step S403 inFIG. 5, the process proceeds to step S406 through step S404. In the stepS404, the policy conversion module 111 converts the name of theinformation security policy stored in the RAM 105 in the step S402 intothe name of the user mode described in the rule section 502 of theconversion rule file 501. Then, the policy conversion module 111 storesthe converted name in association with the value of the informationsecurity policy selected by the administrator into the RAM 105 asintermediate information. For example, the “file falsificationdetection” in the security policy data 401 in FIG. 4A coincides with the“file falsification detection” of the rule section 502 in the conversionrule file 501 in FIG. 4B.

Accordingly, the policy conversion module 111 converts the name “filefalsification detection” of the information security policy into thenames of the user modes “PDF with compulsory digital signature” and “PDFwith compulsory hash”. Then, these names are stored in association withthe value “any one is valid” of the information security policy into theRAM 105 as the intermediate information.

On the other hand, when it is determined that the matched name does notexist in the step S403, the policy conversion module 111 stores the nameof the information security policy stored in the RAM 105 in the stepS402 to the RAM 105 as error information (step S405), and proceeds withthe process to the step S406.

In the following case, the determination, result in the step S403becomes NO, for example. It is a case where the name 402 obtained fromthe security policy data 401 is the “HDD data deletion” and the item“HDD data deletion” is not included in the name group of the informationsecurity policies described in the rule section 502 of the conversionrule file.

In the next step S406, the policy conversion module 111 determineswhether there is the next line of the information security policy in thesecurity policy data. When it is determined that there is the next lineof the information security policy, the process proceeds to step S407,and otherwise the process proceeds to step S408.

In the step S407, the policy conversion module 111 obtains the next lineof the security policy data, extracts the name and the value of theinformation security policy, stores them to the RAM 105, and returns theprocess to the step S403. The process in the steps S403 through S407 isrepeated until reading all the information security policies included inthe security policy data. An example of the intermediate informationthat is expressed in the table format and is stored in the RAM 105 whenthe whole security policy data shown in FIG. 4A has been read is shownin FIG. 4C.

In the intermediate information 601 shown in FIG. 4C, the names “PDFwith compulsory digital signature” and “PDF with compulsory hash” of theuser modes correspond to the value “any one is valid” of the informationsecurity policy. Moreover, the names “FTP” and “SFTP” of the user modescorrespond to the value “no information security policy” of theinformation security policy. Since the “HDD data deletion” in thesecurity policy data 401 does not exist in the conversion rule file 501,it is stored in the RAM 105 (an error information storing unit) as errorinformation in the step S405.

When the whole security policy data has been read, the policy conversionmodule 111 stores the intermediate information stored in the RAM 105into the intermediate information storing module 115 in step S408 inFIG. 5, and finishes the process in FIG. 5.

FIG. 6 is a flowchart showing an information security policy applicationprocess executed when applying the security policy data to themultifunctional peripheral device 101. It should be noted that thisprocess shall be executed by the CPU 104 according to a program readfrom the storage unit 106 to the RAM 105 unless otherwise specified.

In step S409, the policy verification module 109 determines whether thewhole intermediate information stored in the intermediate informationstoring module 115 has been read. When it is determined that the wholedata has not been read, the policy verification module 109 obtains onevalue of the information security policy that has not been obtained anda name of the corresponding user mode from the intermediate information,and stores them into the RAM 105 in step S410. In the case of theintermediate information 601 shown in FIG. 4C, the “any one is valid”,the “PDF with compulsory digital signature”, and the “PDF withcompulsory hash” are stored into the RAM 105.

In the next step S411, the policy verification module 109 obtains thevalue of the current user mode set to the multifunctional peripheraldevice (MFP) 101 from the user mode storing module 114 using the name ofthe user mode stored in the RAM 105. FIG. 7A shows the names and thevalues of the user modes that are stored in the user mode storing module114 of the multifunctional peripheral device 101 in a table format. Itshould be noted that “ON” in the table represents that the functionindicated by the name of the user mode is valid, and “OFF” representsthat the function is invalid. For example, “OFF” is obtained as a valueof the “PDF with compulsory digital signature”, “OFF” is obtained as avalue of the “PDF with compulsory hash”, and they are stored in the RAM105 in the step S411.

In step S412, the policy verification module 109 obtains a conditioncorresponding to the value of the read information security policy fromthe condition section 503 of the conversion rule file stored in theconversion rule storing module 112. Then, it is determined whether thecurrent user mode stored in the RAM 105 satisfies the condition.

The “to use method with highest security level” of the condition section503 shown in FIG. 4B represents that it is determined that the conditionis satisfied in the step S412 when the “PDF with compulsory digitalsignature” of the current user mode is “OK”.

The “any one is valid” represents that it is determined that thecondition is satisfied in the step S412 when the “PDF with compulsorydigital signature” or the “PDF with compulsory hash” of the current usermode is “ON”.

The “no information security policy” represents that it is determinedthat the condition is satisfied in the step S412 regardless of the valueof the current user mode. The “OK in encryption communication”represents that it is determined that the condition is satisfied whenthe “FTP” of the current user mode is “OFF” and the “SFTP” is “ON”.

When it is determined that the condition is satisfied in the step S412,the process returns to the step S409. When it is determined that thecondition is not satisfied on the other hand, the policy verificationmodule 109 temporarily stores a combination of the information stored inthe RAM 105 in the step S410 and the condition obtained from theconversion rule in the step S412 into the RAM 105 as the screen controlinformation (step S413), and returns the process to the step S409.

Furthermore, in this embodiment, the policy verification module 109 doesnot only check the value of the user mode but also checks whether eachapplication of the multifunctional peripheral device 101 complies withthe information security policy in the step S412. Specifically, thepolicy verification module 109 determines whether each applicationinstalled in the multifunctional peripheral device 101 relates to theinformation security policy. For example, when the information securitypolicy “file falsification detection” is applied, it is determinedwhether the application installed in the multifunctional peripheraldevice 101 can comply with the information security policy “filefalsification detection”. Then, when the application can comply with theinformation security policy, the file falsification-detection functionof the application is compulsorily turned ON, or it is notified to theapplication concerned that the file falsification detection is madeindispensable.

Moreover, when it is determined that the application cannot comply withthe information security policy of the file falsification detection inthe step S412, the screen control information indicating the applicationis stored into the RAM 105 in the step S413. Moreover, the starting ofthe application that does not comply with the information securitypolicy may be restricted.

The process in the steps S409 through S413 is performed until the wholeintermediate information has been read. When the whole intermediateinformation has been read, the process proceeds to step S414.

In the step S414, the policy verification module 109 stores the screencontrol information stored in the RAM 105 into the screen controlinformation storing module 116. FIG. 7B snows the screen controlinformation stored in the RAM 105 when executing the step S414 expressedin the table format.

In FIG. 7B, Since the current values of both the “PDF with compulsorydigital signature” and “PDF with compulsory hash” of the multifunctionalperipheral device 101 are OFF, the condition “any one is valid” is notsatisfied, and the screen control information is stored. On the otherhand, since the condition of each of “FTP” and “SFTP” is the “noinformation security policy”, the screen control information is notstored.

In step S415 in FIG. 6, the policy verification module 109 determineswhether there is a name of an information security policy stored in theRAM 105 as an error in the step S405 in FIG. 5 or screen controlinformation stored in the screen control information storing module 116in the step S414. When it is determined that there is a name of aninformation security policy or screen control information, this processis finished after executing step S416. When it is determined that thereis not a name of an information security policy or screen controlinformation, this process is finished without executing the step S416.In the step S416, the policy verification module 109 transmits thesepieces of information to the PC 201 via the network 126 from the networkcommunication unit 102.

When receiving the name of the information security policy with thenetwork communication unit 202, the PC 201 notifies the administratorthat there is an information security policy inapplicable to themultifunctional peripheral device 101. Moreover, when receiving thescreen control information from the multifunctional peripheral device101, the PC 201 displays a display screen as shown in FIG. 8A on theoperation-display unit 206 of the PC 201, and notifies the administratorthat the multifunctional peripheral device 101 is in the state contraryto the information security policy.

In FIG. 8A, the “HDD data deletion” stored in the RAM 105 as an error inthe step S405 is displayed as an item “Error!”, and the “PDF withcompulsory digital signature” and the “PDF with compulsory hash” thatare extracted from the screen control information is displayed as anitem “Caution!” It should be noted that a method of sending informationwith an e-mail or the like may be employed to notify the administratorinstead of the method of displaying information on the screen by the PC201.

According to the above mentioned process, the security policy datagenerated with the PC 201 can be suitably applied to the multifunctionalperipheral device 101. Particularly, the administrator in theinformation system section can create the information security policywith the PC 201 data without being aware of a function of themultifunctional peripheral device 101, a setting value of a user mode,etc.

Next, an error screen display process in the multifunctional peripheraldevice 101 to which the security policy data is applied will bedescribed.

FIG. 9 is a flowchart showing the error screen display process executedby the screen control module 113 in the multifunctional peripheraldevice 101. It should be noted that this process shall be executed bythe CPU 104 according to a program read from the storage unit 106 to theRAM 105 unless otherwise specified. It should be noted that the processin FIG. 9 is executed after the process in FIG. 6 has been executed.

In step S1001, the screen control module 113 determines whether thescreen control information storing module 116 holds screen controlinformation. When it is determined that the screen control informationis held, the screen control module 113 displays an error screen in stepS1002. An example of the error screen that the screen control module 113displays is shown in FIG. 8B.

The error screen in FIG. 8B shows that the screen control module 113extracts the name of the user mode from the screen control informationshown in FIG. 7B and that the setting changes of the “PDF withcompulsory digital signature” and the “PDF with compulsory hash” arenecessary. The error screen in FIG. 3B may show that the informationsecurity policy “HDD data deletion” is not applied as the item“<error!>!” as with the error screen shown in FIG. 8A. Then, the errorscreen in FIG. 8B may show that the function needed to comply with theinformation security policy “HDD data deletion” will be added to themultifunctional peripheral device 101.

This embodiment will be described on the assumption that the setting ofthe user mode using the UI operation unit 103 is the only function ofthe multifunctional peripheral device 101 available to a user in thestate where the error screen is displayed. It should be noted that thescreen may foe controlled so as to allow using functions irrelevant tothe user mode that does not comply with the information security policy.

In step S1003 in FIG. 9, the screen control module 113 determineswhether the setting of the user mode stored in the user mode storingmodule 114 was changed by an operation of the user through the UIoperation unit 103. When it is determined that the setting was notchanged, the process returns to the step S1002 and displays the errorscreen shown in FIG. 8B. On the other hand, when the setting waschanged, the information security policy application process shown inFIG. 6 is performed (step S1004), and the process returns to the stepS1001.

When it is determined that the screen control information does not existin the step S1001, the screen control module 113 determines whether thesetting was changed as with the step S1003 (step S1005). When it isdetermined that the setting of the user mode was changed in the stepS1005, the process proceeds to the step S1004. On the other hand, whenit is determined that the setting of the user mode was not changed inthe step S1005, the process is finished.

This embodiment described the configuration in which the administratorgenerates the security policy data using the policy generation module207 of the PC 201. However, when the policy generation module 207 isprovided inside the multifunctional peripheral device 101, the systemmay be configured so that the administrator accesses the multifunctionalperipheral device 101 using the UI operation unit 103 or the PC 201 toset the security policy data.

Next, a method of applying an information security policy to an extendedapplication added from the outside will be described.

FIG. 10 is a schematic view showing a configuration example of anextended application applied to the multifunctional peripheral device101.

An extended application in a format shown in FIG. 10 is supplied byCD-ROM or network delivery, and its components are decomposed and storedinto the multifunctional peripheral device 101 when the application istaken into the multifunctional peripheral device 101.

As shown in FIG. 10, a package 1001 of the entire extended applicationincludes an extended application body 1002 and application attributeinformation 1003. The extended application body 1002 is configured witha Java (registered trademark) code, for example, and has a functionexecution module 1004 that actually achieves a function, and a policyenforcement module 1005.

The application attribute information 1003 shows information about theextended application itself, and is also called a manifesto file. Theapplication attribute information 1003 is described in a text format,for example, and describes the information that shows features of theextended application. The illustrated example shows that an applicationname of the extended application is “scanning transmitting application”,a version of the application is V1.00, an application identifier is0x1234 in hexadecimal, and a policy version is v1.00.

The multifunctional peripheral device 101 is possible to manage andoperate a plurality of extended applications using the extendedapplication management module 118. Moreover, an API (Application ProgramInterface) enables to deliver a scan operation result of themultifunctional peripheral device 101 and to output image data generatedby the extended application. Furthermore, the authentication informationobtained by user authentication can be delivered, and software thatshuts down the apparatus can also be controlled.

Moreover, when an extended application supports the information securitypolicy, a change of the information security policy is notified to theextended application, and related setting values are changed. This canenforce the operation of the extended application concerned within thelimits of the information security policy.

FIG. 11 is a view showing functions of APIs that exchange informationand instructions between the multifunctional peripheral device 101 andthe extended application.

As shown in FIG. 11, the APIs are arranged between the multifunctionalperipheral device 101 and the extended application 1602 as interfaces,and exchange information and instructions mutually in response tospecified calls.

A registration API 1603 registers an event notification method fornotifying of the change when the information security policy is changedduring the operation of the extended application 1602. This registrationAPI 1603 notifies the extended application management module 116 in themultifunctional peripheral device 101 of the information from theextended application 1602.

Since the multifunctional peripheral device 101 does not grasp anextended application to be registered beforehand, it registers an eventnotification method when each extended application starts. Although themessage notification that is a general IPC (interprocess communication)is employed as the event notification method, another method may be usedas long as it is a correspondence procedure between processes.

A notice API 1604 notifies each extended application of the changeinformation that is issued by the policy change notification module 119,when the information security policy is actually changed. This isachieved by calling the message that was registered by the call of theregistration API 1603.

An inquiry API 1605 inquires of the policy inquiry module 120 about thesetting value of the information security policy in response to arequest from the extended application 1602. The inquiry API 1605 iscalled when the extended application 1602 starts and when the notice API1604 notifies of the change of the information security policy.According to this inquiry result, the extended application 1602compulsorily changes the setting value of itself so as to comply withthe information security policy.

An instruction API 1606 instructs reboot of the multifunctionalperipheral device 101 to the system action directive module 121according to a request from the extended application 1602. When theinstruction API 1606 instructs the reboot, the multifunctionalperipheral device 101 will reboot at the time of completion of all theprocesses concerning the change of the information security policy.

FIG. 12 is a flowchart showing an operation of the extended applicationmanagement module 118.

The extended application management module 118 is started when theoperation of the multifunctional peripheral device 101 starts, andcontinues operation henceforth to power supply cutoff.

In step S1101 shown in FIG. 12, the extended application management,module 118 determines whether registration of an extended applicationwas instructed. The extended application management module 118 has a WebService interface (not shown), and transmits the package 1001 of theextended application via the network 126 using web browser software (notshown) of the PC 201.

When it is determined that the registration of the extended applicationwas instructed in the step S1101, the extended application managementmodule 118 extracts and obtains the application attribute information1003 from the transmitted package 1001 (step S1102), and investigatesinformation written therein.

In step S1103, the extended application management module 118 determineswhether the policy version is described. When it is determined that thepolicy version is not described, the process proceeds to step S1106 byskipping steps S1104 and S1105. When it is determined that the policyversion is described, the extended application management module 118enters the policy version to the extended application management table1200 (step S1104), and registers the policy change event for notifyingthe extended application of the policy change with a function of theregistration API 1603 (step S1105). Although this is an event that isnotified to the above-mentioned policy enforcement module 1005 and themessage of the Java (registered trademark) code is assumed, this can beachieved using another interprocess communication.

In the step S1106, the extended application management module 118 storesthe application attribute other than the information security policyinto the storage unit 106.

In the next, step S1107, the extended application management module 118stores the application body 1002 to the storage unit 106, returns theprocess to the step S1101, and waits for registration of the followingextended application.

FIG. 13 is a view showing an example of the extended applicationmanagement table 1200. The extended application management table 1200 ismanaged and held by the extended application management module 118, andan entry is created in the steps S1104 and S1106 in FIG. 12.

As shown in FIG. 13, extended applications 1201 through 1203 areregistered. The extended application management table 1200 has entriesof the extended applications that are registered into themultifunctional peripheral device 101. Pieces of information 1204through 1207 inherent to an extended application registered in theextended application management table 1200 are identical to theinformation described in the application attribute information 1003.

In FIG. 13, the policy version of the “personal secure print” registeredas the extended application 1203 is indicated by “- (hyphen)”. Thisshows that the extended application 1203 does not have a policy version,i.e., does not nave the function to compulsorily change the settingaccording to the information security policy. Not having the function tocompulsorily change the setting according to the information securitypolicy means that the extended application is an old extendedapplication (a legacy application) that does not support the informationsecurity policy, for example. Or it means that there is no setting valuerestricted by the information security policy in the first place. Thesecases will be described in a second embodiment.

Next, an operation of the multifunctional peripheral device 101 when theinformation security policy is changed will be described. FIG. 14 is aflowchart showing an operation of the policy change notification module119.

The policy change notification module 119 is started when the operationof the multifunctional peripheral device 101 starts, and continuesoperation henceforth to power supply cutoff.

In step S1301 in FIG. 14, the policy change notification module 119determines whether a change of the information security policy wasdetected. When the change of the information security policy wasdetected, the policy change notification module 119 obtains one piece ofthe information about the extended application from the extendedapplication management table 1200 (step S1302). When the step S414 inthe security policy application process described in FIG. 6 is executed,it is determined that the change was detected.

Next, the policy change notification module 119 investigates the policyversion of the obtained extended application (step S1303), anddetermines whether the policy version of the extended applicationconcerned is set (step S1304). Since the extended application concernedcan support the information security policy when the policy version isset, the policy change notification module 119 notifies the extendedapplication concerned of an information-security-policy change event(step S1305), and proceeds with the process to step S1306. The event isnotified using the notice API 1604 of the extended applicationregistered in the step S1105 in FIG. 12, and becomes a trigger for theextended application to detect the change of the information securitypolicy and to inquire the information security policy. On the otherhand, when the policy version is not set, the policy change notificationmodule 119 proceeds with the process to step S1306 by skipping stepS1305.

In the step S1306, the policy change notification module 119 determineswhether the inquiries to all the extended applications in the extendedapplication management table 1200 were completed. When they were notcompleted, the inquiry to the following extended application is startedfrom the step S1302. On the other hand, when the inquiries to all theextended applications were completed, the policy change notificationmodule 119 returns the process to the step S1301, and waits for thefollowing change of the information security policy.

Next, a method of changing an information security policy in anindividual extended application will be described.

FIG. 15A is a view showing an example of the relationship between theinformation security policy and the setting value in the extendedapplication. Actually, the illustrated relationship may be achieved as adata structure, or may be achieved as a Java (registered trademark)code.

A first line 1401 shows that there is no setting value related to theinformation security policy “file falsification detection”. A secondline 1402 shows that it is necessary to turn the FTP communication OFFand to turn the SSL communication ON in the information security policy“file transmission method=OK in encryption communication”. Sinceauthentication information flows as plaintext in the FTP communication,the protocol itself cannot be used when only encryption communication ispermitted. Moreover, since the SSL communication constitutes the securesocket layer and all the information that flows on this path isenciphered, it can comply with the above-mentioned information securitypolicy.

FIG. 16 is a flowchart showing an operation of the policy enforcementmodule 1005 included in the extended application 1002 shown in FIG. 10.

The policy enforcement module 1005 is started when the extendedapplication starts, and changes the setting of the extended applicationaccompanying a policy change.

In step S1501 in FIG. 16, the policy enforcement module 1005 determineswhether the policy change event arrived. When it is determined that theevent arrived, the policy enforcement module 1005 obtains andinvestigates one information security policy related to the extendedapplication (step S1502). Since the information security policy of whichthe setting value is affected in the example shown in FIG. 15A is the“file transmission method=OK in encryption communication” only, thisinformation security policy is paid attention in the step S1502.

In the next step S1503, the policy enforcement module 1005 obtains andinvestigates one related setting value. The example shown in FIG. 15Ahas two setting values. First, the setting of the “FTP communication” ispaid attention.

In step S1504, the policy enforcement module 1005 determines whether thesetting value complies with the information security policy. When thesetting value complies with the information security policy, the policyenforcement module 1005 proceeds with the process to step S1506 byskipping step S1505. On the other hand, when the setting value does notcomply with the information security policy, the policy enforcementmodule 1005 changes the setting value so as to comply with the securitypolicy (step S1505), and proceeds with, the process to the step S1506.In the example shown in FIG. 15A, the information security policy “filetransmission method=OK in encryption communication” requires that thesetting value of the “FTP communication” should be “OFF”. When the FTPcommunication is set to ON, the setting value does not comply with theinformation security policy. In such a case, the policy enforcementmodule 1005 compulsorily changes the setting value into OFF (stepS1505).

In the step S1506, the policy enforcement module 1005 determines whetherthe reboot is required accompanying the change of the setting value ofthe information security policy. For example, when a service is beingprovided via the network, the setting cannot be reflected in real time.In such a case, the reboot of the entire system of the multifunctionalperipheral device 101 is needed. Accordingly, the policy enforcementmodule 1005 determines whether the reboot is required accompanying thechange of the setting value of the extended application using the tableinformation shown in FIG. 15B.

In FIG. 15B, a first line 1411 shows that the setting value “FTPcommunication” is determined to need the reboot. On the other hand, asecond line 1412 shows that the setting value “SSL communication” isdetermined not to need the reboot.

When it is determined to need the reboot in the step S1506, a rebootflag is set in step S1507, and the process proceeds to step S1508. Whenit is determined not to need the reboot in the step S1506, the processproceeds to step S1508 by skipping the step S1507.

In the step S1508, the policy enforcement module 1005 determines whetherall the setting values have been investigated. Here, since the “SSLcommunication” also needs to be checked, the processing of the stepsS1503 through S1508 is performed therefor. When the checks of all thesetting values finished, the policy enforcement module 1005 determineswhether all the information security policies have been investigated(step S1509).

When not all the information security policies have been investigated,the process proceeds to the step S1502 and the policy enforcement module1005 investigates similarly the setting value relevant to the followinginformation security policy.

When the investigations about all the information security policies arecompleted, the policy enforcement module 1005 determines whether thereboot flag is set (step S1510). When the reboot flag is set, the policyenforcement module 1005 notifies the system that the reboot is needed instep S1511 by calling the instruction API 1606, returns to the stepS1501, and waits for the following policy change event. When the rebootflag is not set, the process returns to the step S150 by skipping thestep S1511.

The above-mentioned first embodiment provides the mechanism thatnotifies the extended application installed into the multifunctionalperipheral device from the outside of the change of the informationsecurity policy, and that compulsorily changes the setting valueaccordingly. This enables to keep the state where the extendedapplication complies with the security policy. Moreover, even when thesetting of the extended application is changed compulsorily, the rebootis instructed only when required. This can shorten downtime.

Furthermore, the security policy data is converted into the conditionsthat should be satisfied by the setting of the multifunctionalperipheral device, and it is determined whether the current setting ofthe multifunctional peripheral device satisfies the convertedconditions. Then, when it is determined that the current setting of themultifunctional peripheral device does not satisfy the convertedconditions, the use of the multifunctional peripheral device isrestricted and review of the setting of the multifunctional peripheraldevice is informed. This urges to change the user mode so as to complywith the information security policy, and enables to keep the statewhere the multifunctional peripheral device complies with theinformation security policy.

Next, a second embodiment of the present invention will be described.The above-mentioned first embodiment described only the case where anextended application can support an information security policy. In thiscase, when an extended application that does not recognize aninformation security policy is installed into the multifunctionalperipheral device 101, a setting value of the extended applicationconcerned cannot be changed, even if the information security policy ischanged.

Moreover, the administrator does not know a need of reviewing thesetting value of such an extended application. Accordingly, since themultifunctional peripheral device 101 may be operated in the state thatdoes not comply with the information security policy, there is a risk ofbeing exposed to a security threat.

Accordingly, the second embodiment describes a method of notifying anadministrator that a setting value of an extended application needs tofoe changed to a suitable setting value.

FIG. 19 is a schematic view showing a configuration example of anextended application that does not recognize the information securitypolicy. The illustrated extended application package 1801 is configuredby removing the policy enforcement module 1005 and the policy version ofthe application attribute information 1003 from the extended applicationpackage 1001 shown in FIG. 10.

Since the illustrated extended application package 1801 does not havethe policy enforcement module 1005, the setting of the extendedapplication concerned cannot be changed in compliance with aninformation security policy even if the information security policy ischanged. Since the setting value of such an extended application cannotbe automatically enforced according to the change of the informationsecurity policy, the administrator of the multifunctional peripheraldevice 101 is urged so as to change the setting value manually.

FIG. 20 is a flowchart showing an operation of the policy changenotification module 119 according to the second embodiment. Theflowchart in FIG. 20 differs from the flowchart shown in FIG. 14 in thata step S1707 is added, and only this different point will be described.

In step S1304, the policy change notification module 119 investigatesthe policy version of the extended application under investigation. Whenthe policy version is not set (the case in FIG. 19 corresponds), acaution message that notifies the administrator that the applicationconcerned needs a manual resetting is displayed on the UI operation unit103 (step S1707). An example of the caution message displayed on the UIoperation unit 103 is shown in FIG. 21. In the second embodiment, anapplication name and a version name are extracted from the applicationattribute information 1803 and are displayed in order to identify anextended application.

Thus, a setting value is automatically changed so as to comply with aninformation security policy as with the first embodiment, when anextended application can support the information security policy. On theother hand, when an extended application cannot support the policy, acaution message is displayed. This enables to show the minimum settingreview to an administrator, which minimizes an administrator's settingload.

Next, a third embodiment of the present invention will be described.Items of information security policies are not fixed in general, and anew item may be added according to an addition of a function of amultifunctional peripheral device, a security measure, etc. A policyversion of an information security policy identifies items to besupported.

FIG. 22A is a view showing a list of information security policy itemsunder the policy version V1.00, and FIG. 22B is a view showing a list ofinformation security policy items under the policy version V1.01.

In the illustrated examples, when the policy version is upgraded toV1.01 from V1.00, an information security policy item “password needseight or more characters” is newly added. This information securitypolicy item aims to oppose a threat that a short password easily leaksto others and allows spoofing.

In such a premise, since a specification of an information securitypolicy that may be added is not known beforehand, an extendedapplication is not always able to follow an upgrade of an informationsecurity policy. Accordingly, a policy version of an informationsecurity policy that the multifunctional peripheral device 101 supportsmay differ from a policy version of an information security policy thatan extended application supports. At this time, an extended applicationthat has been already installed may be unable to enforce a setting valueto a newly added information security policy item. An administrator maynot know a need of reviewing the setting value of such an extendedapplication, and may operates the multifunctional peripheral device 101in the state that does not comply with the information security policy.The third embodiment describes a method of notifying an administratorthat a setting value needs to be changed to a suitable setting value insuch a case.

In the third embodiment, the policy version of the information securitypolicy of the entire multifunctional peripheral device 101 shall beupdated to V1.01 when the extended application shown in FIG. 10 isinstalled into the multifunctional peripheral device 101.

When the policy version is upgraded and the information security policyto the version concerned is set, the policy change notification module119 is called.

FIG. 23 is a flowchart showing an operation of the policy changenotification module 119 according to the third embodiment. The flowchartin FIG. 23 differs from the flowchart shown in FIG. 20 in that stepsS2308 and S2309 are added, and only the different points will bedescribed.

When it is determined that the policy version has been set in the stepS1304, the policy change notification module 119 compares the policyversion of the extended application with the policy version of themultifunctional peripheral device 101 in the step S2308. When both theversions differ, the state of having a difference between the securitypolicies is displayed in the step S2309, and the process proceeds to thestep S1305. For example, when the policy version of the extendedapplication is V1.00 and the policy version of the multifunctionalperipheral device 101 is V1.01, the process proceeds to the step S2309and a caution message shown in FIG. 24 is displayed because the versionof the multifunctional peripheral device 101 is higher.

As shown in FIG. 24, the caution message displayed includes an extendedapplication name 2401 and an information security policy item 2402 thatis the difference.

On the other hand, when the version of the information security policyof the extended application matches with the version of the informationsecurity policy of the multifunctional peripheral device 101, theprocess proceeds to the step S1305 by skipping the step S2309. In such acase, the setting value can be automatically changed so as to complywith the information security policy as with the above-mentioned firstembodiment.

According to the third embodiment, when the version of the informationsecurity policy of extended application differs from the version of theinformation security policy of the multifunctional peripheral device,the caution message is displayed. This enables to show the minimumsetting review to an administrator, which minimizes an administrator'ssetting load.

Next, a fourth embodiment of the present invention will be described. Inthe above-mentioned embodiments, when a policy version is given toapplication attribute information of an extended application, acorrespondence state of the information security policy of the extendedapplication concerned can be identified on the system.

However, a policy version may not be given to application attributeinformation in an actual operation. For example, it is a case where theextended application has already appeared on the market widely and theapplication attribute information thereof does not hold a policyversion. Since such an extended application is contrary to theinformation security policy of the apparatus, permission cannot be givenunconditionally even if there is a demand to actually use the extendedapplication.

Here, the case causing a problem because an extended application doesnot support an information security policy of an apparatus will bedescribed.

An application A shall have a personal server function for receiving aprint job with the FTP and a function for printing a received print jobwith an apparatus. When the FTP port for the application A operatesregardless of the user mode setting shown in FIG. 7A, the setting changeaccording to the information security policy (file transmissionmethod=OK in encryption communication) described in the first embodimentdoes not affect an operation of the application A, and an FTP operationcontinues. In such a case, the application A needs, in theory, to detectthe change of the information security policy and to close the FTP portaccordingly.

However, since the application A does not support the informationsecurity policy, the FTP port for the application A continues to beopened in the entire apparatus. In general, a network apparatus canclearly determine the port number of an unoccupied port in the apparatususing an analytic method called port scan. With this method, theapparatus concerned can analyze the state where the FTP operation ispermitted against the information security policy (file transmissionmethod=OK in encryption communication), and the problem on operationexposes.

Next, the case causing no problem even if an extended application doesnot support an information security policy of an apparatus will bedescribed.

An application B shall have a function of instructing to print printingdata accumulated in an apparatus. This application B does notparticipate in a receiving process using the network, and is notaffected by the security policy (file transmission method=OK inencryption communication). Any settings of the security policy do notaffect the operation of the application B, and the operation neverdeviates from the security policy.

Since the apparatus does not have the information about the informationsecurity policies about the applications A and B in the applicationattribute information 1003, it cannot determine which application may beoperated on the system. Accordingly, in the third embodiment, a warningmessage showing that a manual resetting is needed is displayed in thestep S1707 in FIG. 23.

The fourth embodiment describes a method in which the administratordetermines the features of the above-mentioned applications and preventsthe warning message from displaying for the application B that has noproblem to the security policy even when using in an organization.

FIG. 25 is a view showing an example of security policy data in thefourth embodiment of the present invention.

The security policy data shown in FIG. 25 is configured by adding asection described in a frame 2601 to the security policy data shown inFIG. 17. A list of application identifiers that should be excepted isdescribed in a tap <policy exclusion application ID>. In the illustratedexample, two application identifiers “abc1234567” and “xyz234568” arelisted as targets to be excepted. Thus, the list of identifiers ofextended applications that can operate irrespective of the applicabilityof information security policy is called a white list. The policy changenotification module 119 extracts this white list from the securitypolicy data and stores it.

The security policy data is written by a person with authority fordetermining the information security policy of the organizationconcerned, and the person can specify an application that is permittedto use as an element of the white list based on the authority.

Next, an operation of the policy change notification module when anidentifier of an application that should be excepted is described in thesecurity policy data will be described.

FIG. 26 is a flowchart showing an operation of the policy changenotification module 119 according to the fourth embodiment. Theflowchart in FIG. 26 differs from the flowchart in FIG. 23 in that stepsS2510 and S2511 are added, and only the different points will bedescribed.

When it is determined that a policy version is not set in the stepS1304, the policy change notification module 119 investigates whetherthe extended application is registered in the white list in the stepS2510. Then, the policy change notification module 119 determineswhether the extended application is registered in the white list in stepS2511. Particularly, when the extended application is registered in thewhite list, the process proceeds to the step S1306 without displaying awarning message etc. On the other hand, when the extended application isnot registered in the white list, a warning message showing that amanual resetting of the extended application is needed is displayed inthe step S1707, and the process proceeds to the step S1306. Such aprocess enables to use the extended applications that have been alreadyregistered to the white list by the administrator without displaying awarning message.

Furthermore, a GUI that notifies a user whether the extended applicationis available according to the information security policy may beprovided.

FIG. 27 is a view showing an example, of a UI screen, which showsinformation about an extended application, displayed on the UI operationunit 103.

The information about the extended application, is saved in the extendedapplication management module 118 during a process in which the policychange notification module 119 checks each registered extendedapplication.

Information 2702 about the application and information 2703corresponding to the information security policy are displayed on a UIscreen 2701 shown in FIG. 27. Here is shown that an “application name”is “print application” and a “product version” is “1.0.1”. These piecesof information correspond to the application name and the version thatare described in the application attribute information 1003 shown inFIG. 10.

“No” is shown as a value of an item “policy correspondence” according tothe determination result of the step S1304 in FIG. 26. “Yes” is shown asa value of an item “white list registration” according to the result ofinvestigation in the step S2510 in FIG. 26.

A value of an item “restriction by policy” becomes “yes” when theextended application is determined not to be registered in the whitelist (to be restricted by the security policy) in the step S2511 in FIG.26, and otherwise becomes “no”. In FIG. 27, since the extendedapplication is registered in the white list, the value becomes “no”.Since the information about the information security policy of theextended application is displayed in this way, a user can determinewhether the extended application concerned is available.

According to the fourth embodiment, in the multifunctional peripheraldevice 101, the identifier of the extended application that is exceptedfrom applying the information security policy is extracted from thesecurity policy data distributed from the external PC 201. Then, theadministrator is notified that the reset of the information securitypolicy of the extended application is needed, when no identifiers of theextended applications in the multifunctional peripheral device 101 matchwith the identifier of the extended application extracted, and when theextended applications in the multifunctional peripheral device 101 donot comply with the information security policy described in thesecurity policy data. Thereby, even when the information security policyof the extended application in the apparatus does not support thesecurity policy of the apparatus, the extended application concernedbecomes available according to the administrator's determination, whichfacilitates the management of the information security policy in theapparatus.

Next, a fifth embodiment of the present invention will be described. Inthe above-mentioned second, third, and fourth embodiments, when anextended application may not comply with an information security policy,the message showing that the application concerned requires a manualresetting is displayed (step S1707). On the contrary, the operation ofthe extended application may be stopped instead of reviewing the settingin order to increase compelling force of the information securitypolicy.

FIG. 28 is a view showing an operation of an API according to the fifthembodiment that exchanges information and instructions between themultifunctional peripheral device 101 and an extended application. Itshould be noted that the configuration in FIG. 28 is configured byadding a stop API 2807 to the configuration in FIG. 11, and descriptionsabout other components are omitted.

As shown in FIG. 28, when it is determined that the extended applicationcannot, comply with the information security policy, the stop API 2307instructs a stop to the extended application concerned. This stop API2807 notifies the extended application of the stop during the operationof the extended application or at a timing of starting themultifunctional peripheral device 101. As a result, the extendedapplication concerned performs a stop process and stops the service thatthe extended application concerned provides henceforth.

FIG. 29 is a flowchart showing an operation of the policy changenotification module 119 according to the fifth embodiment. The flowchartin FIG. 29 differs from the flowchart in FIG. 26 only in that the stepS1707 in FIG. 26 is replaced, with a step S2907.

Although the message that urges the administrator to review the settingof the extended application is displayed in the step S1707 in FIG. 26,the stop API 2807 is called as a stop instruction to the extendedapplication in the step S2907 in FIG. 29.

According to the fifth embodiment, the information security policy canbe strictly maintained by stopping the operation of the extendedapplication according to the information security policy.

Other Embodiments

Aspects of the present invention can also be realized by a computer of asystem or apparatus (or devices such as a CPU or MPU) that reads out andexecutes a program recorded on a memory device to perform the functionsof the above-described embodiment(s), and by a method, the steps ofwhich are performed by a computer of a system or apparatus by, forexample, reading out and executing a program recorded on a memory deviceto perform the functions of the above-described embodiment(s). For thispurpose, the program is provided to the computer for example via anetwork or from a recording medium of various types serving as thememory device (e.g., computer-readable medium).

While the present invention has been, described with reference toexemplary embodiments, it is to be understood that the invention is notlimited to the disclosed exemplary embodiments. The scope of thefollowing claims is to be accorded the broadest interpretation so as toencompass all such modifications and equivalent structures andfunctions.

This application claims the benefit of Japanese Patent Application No.2013-016866, filed on Jan. 31, 2013, which is hereby incorporated byreference herein in its entirety.

What is claimed is:
 1. An information processing system comprising: atleast one processor connected to a memory, the processor and memoryconfigured to: receive security policy data including a security policy,the security policy data further including identification information ofa predetermined policy exclusion application to which the securitypolicy is not to be applied; determine, based on confirming a policyversion setting of an application, whether the application in an imageprocessing apparatus supports enforcement of a setting to comply withthe security policy in the security policy data; set up the applicationto comply with the security policy in a case where it is determined thatthe application supports the enforcement of the setting to comply withthe security policy in the security policy data; and determine, based onthe identification information in the security policy data, whether theapplication is the predetermined policy exclusion application identifiedby the identification information, in a case where it is determined thatthe policy version setting of the application does not supportenforcement of a setting to comply with the security policy in thesecurity policy data, wherein the determination that the applicationdoes not support the enforcement of the setting to comply with thesecurity policy based on confirming the policy version setting of theapplication is separate from the determination that the application isthe predetermined policy exclusion application, wherein in a case whereit is determined that the policy version setting of the application doesnot support enforcement of a setting to comply with the security policyin the security policy data and the application is the predeterminedpolicy exclusion application, the application is allowed to operate, andwherein in a case where it is determined based on confirming the policyversion setting of the application that the application does not supportthe enforcement of the setting to comply with the security policy in thesecurity policy data, the administrator is notified of a message about asecurity policy of the application via the display.
 2. The informationprocessing system according to claim 1, the processor and memory furtherconfigured to: stop an operation of the application in a case where itis determined that the policy version setting of the application is notset to the application and it is determined that the application is notthe predetermined policy exclusion application identified by theidentification information.
 3. The information processing systemaccording to claim 1, wherein it is determined whether the applicationsupports the enforcement of the setting to with the security policy byinvestigating whether a policy version is set to the application.
 4. Theinformation processing system according to claim 1, the message aboutthe security policy of the application includes items of differencebetween the security policy of the application and the security policyof the image processing apparatus.
 5. The information processing systemaccording to claim 1, wherein the security policy prohibits acommunication using a predetermined communication protocol.
 6. Theinformation processing system according to claim 5, wherein theapplication receives a print job transmitted using the predeterminedcommunication protocol and enables the image processing apparatus toexecute printing a received print job.
 7. The information processingsystem according to claim 5, wherein the application is free from acommunication using the predetermined communication protocol.
 8. Theinformation processing system according to claim 1, wherein theapplication operates in execution environment of Java which isdynamically added into and deleted from the image processing apparatus.9. The information processing system according to claim 4, the processorand memory further configured to cause the display to display anextended application name and an information security policy item thatis the difference.
 10. A control method for an information processingsystem, comprising: receiving security policy data including a securitypolicy, the security policy data further including identificationinformation of a predetermined policy exclusion application to which thesecurity policy is not to be applied; first determining, based onconfirming a policy version setting of an application, whether theapplication in an image processing apparatus supports enforcement of asetting to comply with the security policy in the security policy data;setting up the application to comply with the security policy in a casewhere it is determined that the application supports the enforcement ofthe setting to comply with the security policy in the security policydata; second determining, based on the identification information in thesecurity policy data, whether the application is the predeterminedpolicy exclusion application identified by the identificationinformation in a case where it is determined that the policy versionsetting of the application does not support enforcement of a setting tocomply with the security policy in the security policy data, wherein thedetermining whether the application is the predetermined policyexclusion application is separate from the determination that theapplication does not support the enforcement of the setting to complywith the security policy based on confirming the policy version settingof the application, wherein in a case where it is determined that thepolicy version setting of the application does not support enforcementof a setting to comply with the security policy in the security policydata and it is determined that the application is the predeterminedpolicy exclusion application, the application is allowed to operate andwherein in a case where it is determined based on confirming the policyversion setting of the application that the application does not supportthe enforcement of the setting to comply with the security policy in thesecurity policy data, the administrator is notified of a message about asecurity policy of the application via the display.
 11. The controlmethod for an information processing system according to claim 10,further comprising: stopping an operation of the application in a casewhere it is determined that the policy version setting of theapplication is not set to the application and it is determined that theapplication is not the predetermined policy exclusion applicationidentified by the identification information.
 12. An image processingapparatus, comprising: a processor connected to a memory, the processorand memory configured to: receive security policy data including asecurity policy, the security policy data further includingidentification information of a predetermined policy exclusionapplication to which the security policy is not to be applied;determine, based on confirming a policy version setting of anapplication, whether the application in an image processing apparatussupports enforcement of setting to comply with the security policy inthe security policy data; set up the application to comply with thesecurity policy in a case where it is determined, based on confirmingthe policy version setting of the application, that the applicationsupports the enforcement of the setting to comply with the securitypolicy in the security policy data ; and determine, based on theidentification information included in the security policy data, whetherthe application is the predetermined policy exclusion applicationidentified by the identification information in a case where it isdetermined that the policy version setting of the application does notsupport enforcement of a setting to comply with the security policy inthe security policy data, wherein the determination that the applicationdoes not support the enforcement of the setting to comply with thesecurity policy based on confirming the policy version setting of theapplication is separate from the determination that the application isthe predetermined policy exclusion application, wherein in a case whereit is determined that the policy version setting of the application doesnot support enforcement of a setting to comply with the security policyin the security policy data and the application is the predeterminedpolicy exclusion application, the application is allowed to operate, andwherein in a case where it is determined that the policy version settingof the application does not support enforcement of a setting to complywith the security policy in the security policy data and the applicationis not the predetermined policy exclusion application, the administratoris notified of a message via the display.
 13. The Image processingapparatus according to claim 12, the security policy is related to acommunication protocol regarding at least one of a predeterminedencryption or digital certification.
 14. The Image processing apparatusaccording to claim 12, wherein in a case where it is determined that thepolicy version setting of the application is set to the application, itis determined, based on confirming whether a version defined in thepolicy version setting of the application is corresponding to a versionof a security policy in the received security policy data of theapplication, whether the application in an image processing apparatussupports enforcement of setting to comply with the security policy inthe security policy data.